RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
K•••• A••• M••••••••
- A•••••• R••••••• C•••••• independent RIA currentsince Nov 18, 2021 · Dallas, Tx
- D••••••••• C•••••• independent RIAFeb 2, 2016 to Sep 23, 2021 · Tulsa, Ok
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Aug 12, 2014 · Saint Petersburg, Fl
- F••••••••• F•••••• A••••••• S••••••• unclassifiedMar 5, 2007 to Jul 17, 2007 · Tulsa, Ok
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 20, 2003 to Jan 2, 2009 · Tulsa, Ok
- A• G• E•••••• • S•••• I••• unclassifiedOct 6, 1997 to Oct 30, 2003 · Tulsa, Ok
- D••••••••• C•••••• to A•••••• R••••••• C••••••left Sep 23, 2021, registered Nov 18, 2021 (56 days) · RIA to RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to D••••••••• C••••••left Aug 12, 2014, registered Feb 2, 2016 (539 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to F••••••••• F•••••• A••••••• S•••••••left Jan 2, 2009, registered Mar 5, 2007 (-669 days) · Other
- F••••••••• F•••••• A••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 17, 2007, registered Jan 2, 2009 (535 days) · Other
- A• G• E•••••• • S•••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 30, 2003, registered Oct 20, 2003 (-10 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address